TABLE OF CONTENTS

Joint State Government Commission 2001-2002 . ... ... ... ... ... .... ... ... . 7
Task Force on Services to Children and Youth ... ... ... ... ... ... .... ... ... . 9
Advisory Committee on Services to Children and Youth ... ... .... ... ... . 11
Letter from Senator Roger A. Madigan Commiss on Chair .. .... ... ... . 13
Introduction . .... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... .... ... ... . 15
Summary of Recommendations .. ... ... ... ... ... ... ... ... ... ... ... ... .... ... ... . 23
Placement Services ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... ... .... ... ... . 31
Older Children in Placement
Ser ice Plann ng
Culture
D i ing
Health Care
Post-Secondary Education
Placement Opt ons and Fund ng
Da a Collec ion
Education
Prompt En o lment
A signment to the Appropriate Program and Transfer of Records
Spec al Educat on
Cont nu ty of School and Educat on
Parent In ol ement
Caretaker In ol ement
D fferent Treatment of Children n Placement
Cooperation Be ween the Education and Children and Youth Systems
Da a Collec ion
Health Care
Out-of-State Placement and Long-D stance Placement W thin the State
Kinship Ca e
Assessment and E aluat on
Concur ent Planning
Impro ng Access to Ser ices
Parents
Drug and Alcohol Addict on Treatment
O er iew of Ex sting Laws and P ograms
Managed Care
Early and Pe iod c Sc eening Diagnos s and Treatment (EPSDT)
Ins itution for Mental D seases (IMD) Exclusion
Title IV-E Wai ers and Temporary Ass stance for Needy Famil es (TANF)
County Agency S affing and Tra n ng
Foster Pa ents
Access to Information
Hear ngs
Support by Children and Youth Sys em

-3-

THE CHILDREN AND YOUTH SERVICES

Table of Contents

DELIVERY SYSTEM IN PENNSYLVANIA

REPORT OF THE
ADVISORY COMMITTEE ON
SERVICES TO CHILDREN AND YOUTH

OMBUDSMAN SECTIONS EDIT

pp. 1,7,9,11,12,13,65-78,227-250
of original file here:
http://bit.ly/20FgxHT

General Assembly of the Commonwealth of Pennsylvania

JOINT STATE GOVERNMENT COMMISSION
November 2002

The release of this report should not be

interpreted as an endorsement by the members
of the Executive Committee of the Joint State
Government Commission of all the findings,
recommendations and conclusions contained in
this report.

Joint State Government Commission

Room 108 Finance Building
Harrisburg, PA 17120-0018
717-787-4397
FAX 717-787-7020
E-mail: jntst02@legis.state.pa.us
Website: http://jsg.legis.state.pa.us

The Joint State Government Commission was created by the act of July 1, 1937
(P.L.2460, No.459) as amended, as a continuing agency for the development of
facts and recommendations on all phases of government for the use of the General
Assembly.

-2-

TABLE OF CONTENTS

Joint State Government Commission, 2001-2002 .................................... 7

Task Force on Services to Children and Youth ....................................... 9
Advisory Committee on Services to Children and Youth ....................... 11
Letter from Senator Roger A. Madigan, Commission Chair ................. 13
Introduction ................................................................................................. 15
Summary of Recommendations ................................................................. 23
Placement Services ...................................................................................... 31
Older Children in Placement
Service Planning
Culture
Driving
Health Care
Post-Secondary Education
Placement Options and Funding
Data Collection
Education
Prompt Enrollment
Assignment to the Appropriate Program and Transfer of Records
Special Education
Continuity of School and Education
Parent Involvement
Caretaker Involvement
Different Treatment of Children in Placement
Cooperation Between the Education and Children and Youth Systems
Data Collection
Health Care
Out-of-State Placement and Long-Distance Placement Within the State
Kinship Care
Assessment and Evaluation
Concurrent Planning
Improving Access to Services
Parents
Drug and Alcohol Addiction Treatment
Overview of Existing Laws and Programs
Managed Care
Early and Periodic Screening, Diagnosis and Treatment (EPSDT)
Institution for Mental Diseases (IMD) Exclusion
Title IV-E Waivers and Temporary Assistance for Needy Families (TANF)
County Agency Staffing and Training
Foster Parents
Access to Information
Hearings
Support by Children and Youth System

-3-

Funds Provided for Foster Care

Allegations of Abuse
Recruitment
Training and Information
Principles of Care for Children and Families
Children in Out-of-Home Care
Parents of Children in Out-of-Home Care
Foster Parents

Childrens Ombudsman and Complaint Resolution ............................... 65

Types of Ombudsmen
The Ombudsman in Other States
Safeguards
Characteristics of an Effective Ombudsman
Proposed Legislation
Local Complaint Resolution Office

Performance Evaluation Systems .............................................................. 79

Children and Family Service Review (CFSR)
Statewide Performance Review
Local Case Monitoring

Accountability and Data Collection .......................................................... 87

Opening Dependency Court Proceedings ................................................. 89
Current Law
Representation in Dependency Proceedings
Proposed Legislation

Confidentiality ............................................................................................. 99
Access Versus Privacy
Proposed Legislation
Non-Mandatory Reporters
Foster Parents
Auditor General

Judicial Training and Assignments ...........................................................107

Recruitment and Retention of Caseworkers ............................................109
Staff Turnover
Work Environment and Job Satisfaction
Financial Incentives
Training and Professional Development
Recognition of the Importance of Caseworkers and Staff
Civil Service Reform
Parity Between Private and Public Sector Providers
Employer Costs

The Importance of Prevention Efforts ......................................................117

Statistics and Background Information
Key Indicators of Child Well-Being

-4-

Contributors to Maltreatment
Effects of Maltreatment and the Costs to Society
Child Welfare Data
Child Placements
Ann ual Expenditures on Other Programs
The Importance of Community
Classes of Prevention Activities
Case Study: One Parents Experiences with Children and Youth Services
Characteristics of Highly Effective Programs
Analysis of Specific Prevention Programs
Olds Model of Prenatal and Infancy Home Visitation by Nurses
Family School Model
Family Intervention Crisis Service Program
The Healthy Families America Initiative
Family and Schools Together Program
Family Centers
Teen Centers
Communities That Care
After-School Programs
Mentoring Programs
Valley Youth House
Beacon Schools
Community-Based Prevention Services in Philadelphia
Coordination and Administration
Specific Programs and Services
Challenges
Budget
Administrative and Fiscal Challenges
Recommendations
Governmental Framework
County Prevention Efforts
Block Grants and the RFP Process
Technical Assistance and Administrative Costs
Funding
Needs-Based Budgeting
Proposed Legislation

Independent Living Programs ...................................................................181

Barriers
Characteristics of Successful Programs
Challenges
Subcommittee Suggestions

Medically Fragile Children ........................................................................189

Subsidized Permanent Legal Custodianship ............................................193
Subsidies and Eligibility
County Costs

Services for Incarcerated Parents .............................................................197

Effect on Families
Reunification Services
The Role of the Children and Youth Services Delivery System

-5-

Specific Programs and Services

Subcommittee Suggestions

Faith-Based Institutions .............................................................................203

Services Relating to Adoption ....................................................................205
Cross-Systems Coordination ......................................................................207
Coordination of Services and Information
Continuity and Consistency in Service Planning and Delivery
Community Awareness
Funding
How to Coordinate a Cross-Systems Approach
Proposed Legislation

Proposed Legislation ...................................................................................221

Proposed Amendment to 18 Pa.C.S.
2702. Aggravated assault.
Proposed Amendments to 23 Pa.C.S. Chapter 63
6340. Release of information in confidential reports.
6361. Organization for child protective services.
6365. Services for prevention, investigation and treatment of child abuse.
6375. County agency requirement for general protective services.
Proposed New Subchapters in 23 Pa.C.S. Chapter 63
Subchapter D.1. Childrens Ombudsman
Subchapter D.2. Prevention Services for Children and Families
Proposed Amendments to 42 Pa.C.S. Chapter 63
6336. Conduct of hearings.
6351. Disposition of dependent child.
Proposed Amendment to The Public Welfare Code (62 P.S.)
701. Availability of services
Proposed New Article in The Administrative Code of 1929
Article VII-A. Cross-Systems Coordination.

Additional Issues .........................................................................................269

Selected Bibliography .................................................................................279
Appendix ......................................................................................................285

-6-

JOINT STATE GOVERNMENT

COMMISSION, 2001 - 2002
OFFICERS
Senator Roger A. Madigan, Chairman
Representative Jeffrey W. Coy, Treasurer
_________________________________________________
EXECUTIVE COMMITTEE
Senate Members

House Members

Robert C. Jubelirer
President Pro Tempore

Matthew J. Ryan
Speaker

David J. Brightbill
Majority Leader

John M. Perzel
Majority Leader

Robert J. Mellow
Minority Leader

H. William DeWeese
Minority Leader

Jeffrey E. Piccola
Majority Whip

Samuel H. Smith
Majority Whip

Michael A. OPake
Minority Whip

Michael R. Veon
Minority Whip

Noah W. Wenger
Chairman, Majority Caucus

Brett O. Feese
Chairman, Majority Caucus

Jack Wagner
Chairman, Minority Caucus

Mark B. Cohen
Chairman, Minority Caucus
Member Ex Officio

Senator Roger A. Madigan

Commission Chairman
_________________________________________________

David L. Hostetter
Executive Director
_________________________________________________

-7-

TASK FORCE ON
SERVICES TO CHILDREN AND YOUTH
Senate Members
Charles W. Dent, Chair
Allen G. Kukovich
Michael A. OPake
Timothy F. Murphy

House Members
Julie Harhart, Vice Chair
Richard T. Grucela
Beverly Mackereth
(2001-02)
Phyllis Mundy
Katie True
(1999-2000)

-9-

ADVISORY COMMITTEE ON
SERVICES TO CHILDREN AND YOUTH
Frank P. Cervone, Chair

Rita Mauriello

James E. Anderson

Sean McCormack

Judge Max Baer

Diane E. Moyer

Jeanette L. Barr

Barbara W. Murphy

Dawn Bartholomew

Carolann Murphy

Deb Beck

Cathleen L. Palm

Bernadette Bianchi

Angele Parker

Cheryl Bleiler

Ruth E. Pearson

Thomas Brown

John C. Phillips

Eleanor Bush

Barbara J. Robbins

Dolly Butz

Peter Schneider

Auditor General Robert P. Casey, Jr.

Charles A. Seith

Nancy Center

Aryeh Sherman

Susan Dichter

Gary Shuey

Kevin Dolan

Charles R. Songer

Mark D. Edwards

Patricia S. Sonne

Judge Elizabeth Ehrlich

Wayne Stevenson

Stephanie A. Gonzalez Ferrandez

Dr. Marcia Sturdivant

Attorney General D. Michael Fisher

Mary K. Sykes

Glenn Hillegass

Dr. David Turkewitz

Dennis Hockensmith

Terry L. Watson

JoAnn R. Lawer

D. Geoff Webster

Kay Packer Leid

Sandy Williams
(Office of Auditor General)

Janice Martino-Gottshall
(Office of Attorney General)

Shelly D. Yanoff

-11-

Former Advisory Committee Members

Judge Cheryl L. Allen
Dr. Charles Lockwood
Cynthia Muroski
(deceased)
Thomas Paternostro
Judge Lillian Harris Ransom
Annette Richards
Amy Rustin
Mary Ellen Shuman
Georgene Thompson
Maxine Tucker
Mark R. Zimmer

-12-

CHILDRENS OMBUDSMAN
AND COMPLAINT RESOLUTION

Accountability is a vital part of the relationship between the child welfare

system, its clients and the broader public, including the General Assembly.
Where the welfare of children is at stake, the public has the right to a particularly
firm assurance that the system is doing its job. At the same time, accountability
inevitably raises delicate issues concerning assignment of blame. Perceived
unfairness in applying accountability standards can result in lower morale and
difficulties in recruitment and retention of child welfare staff.
The Subcommittee on Accountability turned its attention to the need for a
mechanism to address complaints within the children and youth services delivery
system. In this regard, the subcommittee believed that the mechanism should be
independent of the system itself in order to enhance accountability and promote
public perception of fairness within the system. The advisory committee
addressed this need by supporting the recommendations of the Subcommittee on
Accountability regarding a statewide childrens ombudsman and a statutory
requirement for a local complaint resolution office.

Types of Ombudsmen
Three general types of ombudsmen have been identified: the classical,
organizational and advocate. A classical ombudsman is a public official whose
primary responsibility is addressing issues raised by the general public or
internally, usually concerning the actions or policies of government entities or
individuals.38 The purpose of the classical ombudsman is to use investigative
powers to conduct an impartial review of citizens complaints against the actions
of governmental agencies.
Ombudsmen guard against bureaucratic injustice; rather than
advocating for the complainant, they follow the investigations
evidence - wherever it may lead. They reach conclusions that
criticize or vindicate administrators. Although their investigations
are conducted in a confidential manner, they may give a report of
their recommendations - perhaps as a means of pressuring agencies

38

Report of the American Bar Association, Section of Administrative Law and Regulatory
Practice
and
Section
of
Dispute
Resolution,
at
10,
at
http:
//www.abanet.org/adminlaw/approvedreport.doc (last visited August 26, 2002).

-65-

to comply with the ombudsmans interpretation of the situation,

but they do not have power to change administrative rulings.39
An organizational ombudsman is a similar official who handles
complaints within a private organization. An advocate ombudsman is a public or
private official who also evaluates claims objectively, but in addition is
authorized or required to advocate on behalf of individuals or groups found to be
aggrieved.40
At present, the Department of Public Welfare (DPW) gives substantial
attention to client complaints. A DPW representative has estimated that as much
as 30% of staff time of the Office of Children, Youth and Families (OCYF) is
devoted to resolving such complaints.
The advisory committee agreed that despite OCYFs handling of client
complaints, the creation of a childrens ombudsman office is nevertheless
essential because it will give the Commonwealths children and youth services
delivery system a dimension of accountability it does not now have: an avenue of
recourse for dissatisfied clients that is independent of the system itself.

The Ombudsman in Other States

The advisory committee discussed the need for a classical ombudsman and
took no position on the need for an advocate ombudsman. As the perceived need
for independent review has increased, ombudsmans offices in varying
jurisdictions have proliferated across the country. Six states have ombudsmans
offices whose jurisdiction is coextensive with the entire executive branch. Many
states have established ombudsmen with more limited jurisdiction. In
Pennsylvania, such offices cover programs for the aging, environmental
compliance and consumer issues. Other states have established offices with
similar jurisdiction, as well as offices for human rights advocacy, education and
health.41 Perhaps the most common of all the areas where the ombudsman office
has been adopted is that of child welfare. At least 13 states have adopted the
childrens ombudsman in some form. In each of these states, except Delaware,
this office has responsibility for investigating complaints from citizens regarding
the child welfare system.
The following comparative chart summarizes childrens ombudsman
provisions in other states. The chart includes the following information.

39

Larry B. Hill, Institutionalizing a Bureaucratic Monitoring Mechanism: The First Thirty

Years
of
Hawaiis
Ombudsman,
Americanizing
the
Ombudsman,
at
http://www.abanet.org/adminlaw/ombuds/hill1 html (March 28, 2001).
40
ABA Report, supra note 38, at 11.
41
Stephanie A. Stark, Childrens Ombudsman: A State Necessity, [2002].

-66-

Name: the name of the agency that acts as childrens ombudsman

Department: the department within which the office is located (in several
states, the office is independent, but may be located within an agency
for administrative purposes)
Appointment:
the official with responsibility for designating the
childrens ombudsman
Statutory: whether the ombudsman is explicitly created by statute (yes) or
by regulation (no)
Representation: whether the ombudsman has the power to represent the
childs interests in court

State Childrens Ombudsman Provisions

State

Name

Department

California

Foster care
ombudsperson

Autonomous
within
department

Connecticut

Child
advocate

Independent42

Delaware

Child
advocate

Independent

Georgia

Child
advocate

Independent43

Illinois

Illinois

Office of
Advocacy for
Children and
Family
Services
Office of the
Inspector
General45

Appointment
Director upon
consultation
with selection
committee
Governor upon
recommendation
of commission
Child Protection
Accountability
Commission,
executive
committee
Governor upon
recommendation
of nominating
committee

Statutory

Representation

Yes

No

Yes

Yes

Yes

No

Yes

No44

Department
of Children
and Family
Services

Director of
department

Yes

No

Independent

Governor

Yes

No

42

Assigned to Freedom of Information Commission for administrative purposes only.

Assigned to Office of Planning and Budget for administrative purposes only.
44
Child advocate may apply to the Governor to bring suit for mandamus or injunction.
45
Statutory jurisdiction limited to mental health and developmental disabilities.
43

-67-

State

Name

Department

Appointment

Statutory

Representation

Kentucky

Ombudsman

Cabinet for
Families and
Children

Secretary of
Families and
Children

Yes

No

Maine

Child welfare
services
ombudsman

Executive
department

Governor

Yes

No

Michigan

Childrens
ombudsman

Department
of
Management
and Budget
(autonomous)

Governor

Yes

No

Rhode
Island

Child
advocate

Independent

Governor upon
recommendation
of nominating
committee

Yes

Yes

Governor

Governor

Yes

No

Department
of Human
Services

Executive
director of
department

Yes

No

Independent

Governor

Department
of Family
Services

Director of
Family Services

South
Carolina
Utah
Washington
Wyoming

Childrens
Case
Resolution
System
Child
protection
ombudsman
Family and
childrens
ombudsman
Office of
Client
Advocate

Yes
No

No
--

Connecticut. Connecticut gives the Office of Child Advocate (OCA) broad

powers, combining those of a classical and advocate ombudsman. In addition to
investigating complaints, the child advocate can evaluate delivery of services and
review placement facilities, recommend changes in state policies, provide training
and technical assistance to attorneys and guardians ad litem and take all possible
action to protect childrens rights. In addition, there are extensive provisions
regarding participation by the ombudsman in the child fatality review panel. A
seven-member advisory committee assists the child advocate; the committees
approval is required before the child advocate can sue a state department.46
From July 1, 1999 to June 20, 2000, the Connecticut OCA received 1,424
contacts from the public, of which 1,010 were referred to other agencies. The
office investigated 414 cases and resolved 356 of them. Where a case involves
complex multidisciplinary issues, OCA recommends and sometimes facilitates a
meeting of agencies, providers, caregivers and other involved parties to assist in
case planning. As many families have been frustrated by lack of appropriate
services and supports for children with special health care needs, OCA convened
a task force to address that issue. OCA engages in extensive public advocacy
46

Conn. Gen. Stat. 46a-13k through 46a-13q.

-68-

through consultation with public agencies, legislative lobbying and litigation.

During the 2000 session of the Connecticut legislature, OCA advocated for
proposals relating to childrens health, safety and protection, including expanded
mental health services for children, pediatric asthma care, supports for caregivers,
services and treatments for juvenile status offenders and consumer warning labels
on hazardous products.47
Georgia. In Georgia, the Office of the Child Advocate for the Protection of
Children (OCA) has both complaint resolution and advocacy powers. The
primary purpose of OCA is to monitor and oversee the operations of the Georgia
Department of Family and Children Services.48 In its first annual report, OCA
concentrated on making policy suggestions for the improvement of the states
child protection system rather than detailing its response to complaints.
Michigan. The responsibility of Michigans Office of Childrens Ombudsman
(OCO) is mostly concentrated on handling complaints, but it may also make
recommendations regarding protective services, adoption and foster care
legislation. Since Michigan represents a fairly close match in terms of population
with Pennsylvania, some statistics concerning their office may be instructive. The
OCO staff comprises 13 full-time employees, including the ombudsman, eight
investigators, a supervising investigator, an intake investigator and two
administrative support staff. For the fiscal year 2000-01, the annual budget was
$1,194,398. OCO received 815 complaints involving 1,274 children, of which
158 were accepted for investigation. It completed 172 investigations involving
685 children. In 86 of these cases, the treatment by the agency was affirmed; in
80, findings and recommendations were issued; the remaining six cases fell into
neither category. Out of a total of 413 findings and recommendations, 294
involved violations of law or policy, 109 noted poor practice or decisions, 5 raised
systems issues and 5 identified inadequate law or policy.49
Washington. The Washington Office of the Family and Childrens Ombudsman
(OFCO) is appointed by the Governor and is independent of the department that
oversees child welfare. Like Connecticut, Washingtons ombudsman has powers
to review and oversee facilities and procedures, in addition to handling
complaints. Provisions are included that make the ombudsman accountable to a
legislative oversight committee. Washingtons provisions on confidentiality are
the most detailed of any states, including a privilege that protects the
ombudsmans staff against being compelled to testify regarding official duties.50

47

Connecticut Office of the Child Advocate, Annual Report, October 1, 1999-September 30,
2000, at 6, 7, 10, 11.
48
DeAlvah Hill Simms, Georgia Office of the Child Advocate for the Protection of Children,
Annual Report 2001, at 2.
49
Michigan Office of Childrens Ombudsman, 2001 Annual Report 1999-2000, at 6, 7.
50
Wash. Rev. Code 43.06A.010.

-69-

During the year 2000, the Washington OFCO received 1,272 inquiries and
269 complaints. The office completed 150 investigations and found that in 138 of
the cases, the complaint allegations correctly described the actions of the agency.
OFCO further found that in 11 of those 138 cases, the action of the agency clearly
violated the law policy or procedure or constituted an unreasonable exercise of
discretion.51 The report exhaustively analyzes the 269 complaints by source,
region, issues presented and age of children involved, and each of the eleven
adverse findings is described with the finding and the outcome.52 The report
includes ten recommendations for various improvements to the states child
protection and child welfare system.53 Finally, the ombudsman conducted a
survey of the strengths of the foster care system, which consisted of an in-depth
interview of 32 foster children, utilizing a systems change approach called
appreciative inquiry.54 OFCO budget for the 2001-03 biennium is $1,031,334,
and it has a full-time equivalent staff of six.55
Utah. The Utah statute limits the ombudsman to investigation of complaints and
makes the office subordinate to the department.

Safeguards
Most of the states with detailed provisions provide for the following
safeguards: protection of confidentiality of reports to the ombudsman, protection
from retaliation for persons who cooperate with the ombudsman and access by the
ombudsman to agency records. Connecticut, Delaware, Georgia, Maine,
Michigan, and Washington provide all these safeguards, though in somewhat
differing terms. The statutes establishing the Illinois advocacy office and the
Kentucky childrens ombudsman leave nearly all of the details to regulation.

Characteristics of an Effective Ombudsman

Throughout its deliberations regarding the childrens ombudsman statute,
the Subcommittee on Accountability was guided by the conclusions of the
American Bar Association (ABA), which has advocated the use of ombudsmen in
both public and private contexts and, since at least as far back as 1967, has given
extensive and thorough consideration to that office. The ABA policies identify
three essential characteristics that are necessary to support the effectiveness of the
ombudsman: independence in structure, function and appearance; impartiality in
51

Washington Office of the Family and Childrens Ombudsman, 2000 Annual Report:
Activities and Recommendations, at 7, 11.
52
Id. at 8-10.
53
Id. at 20-28.
54
Id. at 29-44.
55
Washington Office of Financial Management, Agency Activity Inventory, 2001-03
Biennium, at http://www.ofm.wa.gov./activity/075inv.pdf (last visited May 9, 2002).

-70-

conducting inquiries and investigations; and confidentiality. The childrens

ombudsman must be independent of the department that administers child welfare
services, but must nevertheless be accountable in some fashion. No one who is
subject to the ombudsmans review should have the power to eliminate the office,
remove the ombudsman or cut the offices resources. The ombudsman must be
impartial in investigating complaints, but such a requirement should not preclude
advocacy of necessary changes in the system. The third requirement is that the
ombudsmen hold information confidential, except as disclosure may be necessary
to prevent imminent harm. Standards must assure that information that reveals
the identity of complainants is not disclosed without the complainants consent.56
The ombudsman is an avenue for the reexamination of administrative acts, but it
has no direct executive or quasi-legislative powers, such as the power to order
actions be taken or to overrule decisions by other officials. These limitations help
assure independence, impartiality and confidentiality.57 Such limitations also
avoid direct conflict between the ombudsman and the officials immediately
responsible for furnishing child welfare services or affording administrative and
judicial review.

Proposed Legislation
The proposed legislation regarding the childrens ombudsman statute is
largely modeled after the Michigan Childrens Ombudsman Act58 and is intended
to be included as Subchapter D.1 of the Child Protective Services Law (23
Pa.C.S. Chapter 63). The proposed statute also incorporates provisions from the
ombudsman statutes of Connecticut, Delaware and Washington.59 The primary
duty of this office is to serve as an independent venue to assist in the resolution of
client complaints.
The ombudsman in the proposed legislation has an independent office
within the Governors office, appointed for a term of five years and removable
only for good cause. The ombudsman is not subject to control, limitation or a
penalty imposed for retaliatory purposes by an official of the appointing entity or
by a person who may be the subject of a complaint or inquiry.60 The
ombudsman is not accountable to DPW or the county agencies responsible for
child protective services, but is accountable to the Governor as the official with
overall executive responsibility.
56

ABA Report, supra note 38, at 5-8 and American Bar Association, Section of
Administrative Law and Regulatory Practice, Standards for the Establishment and Operation of
Ombuds Offices, at 3, 4, available at http://www.abanet.org/adminlaw/approved standards.doc
(last visited August 28, 2002).
57
ABA Report, supra note 38, at 8, 9 and ABA Standards, supra note 56, at 4.
58
Michigan Childrens Ombudsman Act (MCOA), Act 204 of 1994, Mich. Comp. Laws
722.921 et seq.
59
Conn. Gen. Stat. 46a-13k et seq., Del. Code Ann. tit. 29 9001A et seq. and Wash. Rev.
Code 43.06A.010 et seq.
60
ABA Standards, supra note 56, at 3.

-71-

As noted, impartiality requires the ombudsman to conduct investigations

free of initial bias and conflicts of interest, while not being precluded from
advocating necessary changes.61 Some measure of impartiality is assured by
making the office subject to Senate confirmation, which assures that the
ombudsman is considered qualified by the executive and legislative branches of
government.
The final core requirement is confidentiality, which assures that claimants
can seek out the services of the ombudsman and persons with knowledge of the
facts of cases can assist in investigations. The ombudsman should be required to
keep information pertaining to a case confidential, and records should not be
disclosable outside the ombudsmans office.62 The proposed statute contains
strong confidentiality provisions that require the ombudsman to maintain
confidentiality and that prohibit disclosure of records except pursuant to a court
order.
The following proposed legislation represents a new subchapter of 23
Pa.C.S. Chapter 63 (Child Protective Services). No provision is included
regarding immunity from liability for the ombudsman and staff because sovereign
and official immunities apply.63
SUBCHAPTER D.1
CHILDRENS OMBUDSMAN
Sec.
6379.1.
6379.2.
6379.3.
6379.4.
6379.5.
6379.6.
6379.7.
6379.8.
6379.9.
6379.10.
6379.11.

Short title of subchapter.

Definitions.
Childrens ombudsman.
Powers and duties of ombudsman.
Investigative and remedial powers.
Response to complaints.
Cooperation of agencies and providers.
Confidentiality of investigators and records.
Findings and recommendations.
Protection from retaliation.
Non-exclusivity of remedy.

6379.1. Short title of subchapter.

This subchapter shall be known and may be cited as the Childrens
Ombudsman Act.
6379.2. Definitions.
61

Id.
Id.
63
See 1 Pa.C.S. 2310 and 42 Pa.C.S. 8521 et seq.
62

-72-

The following words and phrases when used in this subchapter shall have the
meanings given to them in this section unless the context clearly indicates
otherwise:
Administrative agency. A state or county agency that provides services to a
child who is the subject of an investigation conducted by the ombudsman
pursuant to this subchapter.
Child welfare services. Child-care services as defined in section 6303
(relating to definitions). The term does not include child day care centers or
group and family day-care homes.
Complainant. An individual who makes a complaint pursuant to this
subchapter.
Remediable action. An action by an administrative agency or an agent of
the agency that is:
(1) contrary to law, rule or policy;
(2) imposed without an adequate statement of reason; or
(3) based on irrelevant or erroneous grounds.
6379.3. Childrens ombudsman.
(a) Appointment.--The Governor shall appoint a childrens ombudsman,
subject to confirmation by a majority of the membership of the Senate.
(b) Term of office.--The ombudsman shall hold office for a term of five years
and shall continue to hold office until his or her successor is appointed. The
Governor may reappoint the ombudsman then serving for one additional term,
subject to Senate confirmation. Any vacancy shall be filled by similar
appointment for the remainder of the unexpired term. An ombudsman who has
served part of an unexpired term may serve up to two additional terms.
(c) Removal.--The Governor may remove the ombudsman only for neglect of
duty, misconduct or inability to perform duties.
(d) Administrative support.--The ombudsman shall be an autonomous entity
within the office of the Governor for purposes of administrative support. The
ombudsman shall exercise its powers and duties, including the functions of
budgeting, procurement and other management-related functions, independently
of the office of the Governor.
6379.4. Powers and duties of ombudsman.
(a) General rule.--The ombudsman shall have the following powers and
duties:
(1) To receive, process and investigate complaints pursuant to this
subchapter.
(2) To identify system issues and responses for the Governor, General
Assembly and the Supreme Court and make appropriate recommendations to
them concerning issues affecting the welfare of children.
(3) Subject to annual appropriations, to employ sufficient personnel to
carry out the powers and duties prescribed by this subchapter.
(4) To budget and expend funds.

-73-

(5) To take appropriate steps to advise the public of the services of the
ombudsman, the purposes of the office and procedures to contact the office.
(6) To prescribe procedures and promulgate regulations as necessary to
carry out its powers and duties.
(b) Limitation.--The ombudsman may not overrule an action by an
administrative agency or court.
6379.5. Investigative and remedial powers.
The ombudsman may:
(1) Upon its own initiative or upon receipt of a complaint, investigate an
alleged remediable action.
(2) Decide, in its discretion, whether to investigate a complaint.
(3) Hold an informal hearing and request that individuals appear before
the ombudsman and give testimony or produce documentary evidence that the
ombudsman considers relevant to a matter under investigation.
(4) Report findings and recommendations pursuant to section 6379.9
(relating to findings and recommendations).
6379.6. Response to complaints.
(a) Notice.--Upon rendering a decision to investigate a complaint, the
ombudsman shall notify the complainant of the decision to investigate and shall
notify the department, county agency, child placing agency, and other interested
parties of the intention to investigate. If the ombudsman declines to investigate a
complaint or continue an investigation, the ombudsman shall notify the
complainant and the department, county agency, child placing agency and other
interested parties of the decision and of the reasons for the ombudsmans action.
(b) Professional discipline.--If the investigation of a complaint leads the
ombudsman to believe the matter complained of may involve professional
misconduct, the ombudsman shall bring the matter to the attention of the
authorities responsible for professional discipline. If the complaint refers to
conduct by an attorney, including a guardian ad litem, or a court appointed special
advocate, the ombudsman shall perform a preliminary investigation and transmit
the results of that investigation with the referral.
(c) Referrals.--In the case of complaints brought to the attention of the
ombudsman but not within the ombudsmans powers under this subsection, the
ombudsman shall refer the person making the complaint to a person with the
authority or ability to assist that person.
(d) Alternative responses.--The ombudsman may advise a complainant to
pursue all administrative remedies or channels of complaint open to the
complainant before pursuing a complaint with the ombudsman. Subsequent to the
administrative processing of a complaint, the ombudsman may conduct further
investigations of any complaint upon the request of the complainant or upon the
ombudsmans own initiative.
(e) Criminal violations.--If the ombudsman finds in the course of an
investigation that an individuals action is in violation of state or federal criminal
law, the ombudsman shall immediately report that fact to the district attorney or

-74-

the Attorney General. If the complaint is against a provider of child welfare

services, the ombudsman shall refer the matter to the department for further action
with respect to licensing.
6379.7. Cooperation of agencies and providers.
(a) Investigations.--The department, county agency, administrative agency or
provider of child welfare services shall do all of the following:
(1) Upon the ombudsmans request, grant the ombudsman access to all
relevant information, records and documents in its possession that the
ombudsman considers necessary in the investigation.
(2) Assist the ombudsman in obtaining the necessary releases for those
documents that are specifically restricted.
(3)
Provide the ombudsman upon request with progress reports
concerning the administrative processing of a complaint.
(b)
Public awareness.--Pursuant to regulations promulgated by the
department, the department, county agency or provider of child welfare services
shall provide information to a biological parent, prospective adoptive parent or
foster parent regarding the provisions of this subchapter.
6379.8. Confidentiality of investigations and records.
(a) Matters.--The ombudsman shall treat all matters under investigation as
confidential, including the identities of recipients, individuals from whom
information is acquired and persons seeking assistance from the ombudsman.
Upon receipt of information that by law is confidential or privileged, the
ombudsman shall maintain the confidentiality of the information and shall not
further disclose or disseminate the information except as provided by applicable
state or federal law.
(b) Records.--A record of the office of the ombudsman is confidential, shall
be used only for the purposes of this subchapter, and is not subject to court
subpoena. Information contained in those records may not be disclosed in such a
manner as to identify individuals, except for good cause shown on order of a
court. The ombudsman or other agency may not disclose a record of the
ombudsman or a record received from the ombudsman under the act of June 21,
1957 (P.L.390, No.212), referred to as the Right-to-Know Law, except for good
cause shown on order of a court. No person may disclose any record under this
subsection without the consent of the complainant.
6379.9. Findings and recommendations.
(a) Report of findings.--The ombudsman shall make a report of the findings
of an investigation and make recommendations to the department, the county
agency, the provider of child welfare services and other appropriate entities if the
ombudsman finds any of the following:
(1) A matter should be further considered by the department, the county
agency or provider of child welfare services.
(2) An administrative act should be modified or canceled.
(3) Reasons should be given for an administrative act.

-75-

(4) Other action should be taken by the department, the county agency or
provider of child welfare services.
(b) Subjects of report.--Before announcing a conclusion or recommendation
that expressly or by implication criticizes an individual, the department, the
county agency or a provider of child welfare services, the ombudsman shall
provide the subject of the report with reasonable advance notice and an
opportunity to respond. When publishing an opinion adverse to the department,
county agency or provider, the ombudsman shall include in the publication any
statement of reasonable length made to the ombudsman by the subject of the
report in defense or mitigation of the action. The ombudsman may request to be
notified by the subject of the report within a specified time of any action taken on
any recommendation presented.
(c) Notice to complainant.--The ombudsman shall notify the complainant of
the actions taken by the ombudsman and by the department, county agency or
provider of child welfare services. The ombudsman shall provide the complainant
with a copy of its recommendations regarding the complaint.
(d) Annual report.--The ombudsman shall submit to the Governor, the
General Assembly, the administrative office of the Supreme Court and the
department an annual report on the conduct of the ombudsman, including any
recommendations regarding the need for legislation or for change in rules or
policies.
6379.10. Protection from retaliation.
(a) General rule.--An official, the department, the county agency or a
provider of child welfare services may not penalize any person for filing a
complaint in good faith or cooperating with the ombudsman in investigating a
complaint.
(b) Obstruction.--An individual, the department, the county agency or a
provider of child welfare services may not hinder the lawful actions of the
ombudsman or employees of the ombudsman.
6379.11. Non-exclusivity of remedy.
The authority granted the ombudsman under this subchapter is in addition to
the authority granted under the provisions of:
(1) any other statute or rule under which the remedy or right of appeal or
objection is provided for a person; or
(2) any procedure provided for the inquiry into or investigation of any
matter.
The authority granted the ombudsman does not limit or affect the remedy
or right of appeal or objection and is not an exclusive remedy or procedure.

-76-

Conforming Amendments to 23 Pa.C.S.

6303. Definitions.
(a) General rule.--The following words and phrases when used in this chapter
shall have the meanings given to them in this section unless the context clearly
indicates otherwise:
* * *
Ombudsman. The childrens ombudsman established by section 6379.3
(relating to childrens ombudsman).
* * *
6340. Release of information in confidential reports.
(a)
General rule.--Reports specified in section 6339 (relating to
confidentiality of reports) shall only be made available to:
* * *
(16) the ombudsman.
* * *

Local Complaint Resolution Office

The need for an independent avenue for the resolution of complaints
concerning protective services also applies at the local level. To address this gap,
the advisory committee approved an amendment to 23 Pa.C.S. Chapter 63 (Child
Protective Services) providing for an independent complaint resolution procedure.
Little detail is provided in the amendment in order to allow the office to be
adapted to the situation and resources in each of the counties. The office would
have jurisdiction over complaints under both general protective services and child
protective services. Like the statewide ombudsman office, it would investigate
complaints and give advice on how they can be resolved. However, it would have
no power to overrule agency decisions.
The following is the proposed amendment establishing a local complaint
resolution procedure.
6361. Organization for child protective services.
* * *
(d) Complaint resolution.--The county agency shall establish a formal
procedure to assist in the resolution of complaints arising in the course of the
provision of protective services through personnel other than those employed in
the direct provision of protective services.

-77-

Proposed New Subchapter in 23 Pa.C.S. Chapter 63

SUBCHAPTER D.1
CHILDRENS OMBUDSMAN
Sec.
6379.1. Short title of subchapter.
6379.2. Definitions.
6379.3. Childrens ombudsman.
6379.4. Powers and duties of ombudsman.
6379.5. Investigative and remedial powers.
6379.6. Response to complaints.
6379.7. Cooperation of agencies and providers.
6379.8. Confidentiality of investigators and records.
6379.9. Findings and recommendations.
6379.10. Protection from retaliation.
6379.11. Non-exclusivity of remedy.
6379.1. Short title of subchapter.
This subchapter shall be known and may be cited as the Childrens
Ombudsman Act.
6379.2. Definitions.
The following words and phrases when used in this subchapter shall have the
meanings given to them in this section unless the context clearly indicates
otherwise:
Administrative agency. A state or county agency that provides services to a
child who is the subject of an investigation conducted by the ombudsman
pursuant to this subchapter.
Child welfare services. Child-care services as defined in section 6303
(relating to definitions). The term does not include child day care centers or
group and family day-care homes.

-227-

Complainant.

An individual who makes a complaint pursuant to this

subchapter.
Remediable action. An action by an administrative agency or an agent of
the agency that is:
(1) contrary to law, rule or policy;
(2) imposed without an adequate statement of reason; or
(3) based on irrelevant or erroneous grounds.
6379.3. Childrens ombudsman.
(a)

Appointment.--The Governor shall appoint a childrens ombudsman,

subject to confirmation by a majority of the membership of the Senate.

(b) Term of office.--The ombudsman shall hold office for a term of five years
and shall continue to hold office until his or her successor is appointed. The
Governor may reappoint the ombudsman then serving for one additional term,
subject to Senate confirmation.

Any vacancy shall be filled by similar

appointment for the remainder of the unexpired term. An ombudsman who has
served part of an unexpired term may serve up to two additional terms.
(c) Removal.--The Governor may remove the ombudsman only for neglect of
duty, misconduct or inability to perform duties.
(d) Administrative support.--The ombudsman shall be an autonomous entity
within the office of the Governor for purposes of administrative support. The
ombudsman shall exercise its powers and duties, including the functions of
budgeting, procurement and other management-related functions, independently
of the office of the Governor.

-228-

 6379.4. Powers and duties of ombudsman.

(a)

General rule.--The ombudsman shall have the following powers and

duties:
(1)

To receive, process and investigate complaints pursuant to this

subchapter.
(2) To identify system issues and responses for the Governor, General
Assembly and the Supreme Court and make appropriate recommendations to
them concerning issues affecting the welfare of children.
(3) Subject to annual appropriations, to employ sufficient personnel to
carry out the powers and duties prescribed by this subchapter.
(4) To budget and expend funds.
(5) To take appropriate steps to advise the public of the services of the
ombudsman, the purposes of the office and procedures to contact the office.
(6) To prescribe procedures and promulgate regulations as necessary to
carry out its powers and duties.
(b)

Limitation.--The ombudsman may not overrule an action by an

administrative agency or court.

6379.5. Investigative and remedial powers.
The ombudsman may:
(1) Upon its own initiative or upon receipt of a complaint, investigate an
alleged remediable action.
(2) Decide, in its discretion, whether to investigate a complaint.

-229-

(3) Hold an informal hearing and request that individuals appear before
the ombudsman and give testimony or produce documentary evidence that the
ombudsman considers relevant to a matter under investigation.
(4) Report findings and recommendations pursuant to section 6379.9
(relating to findings and recommendations).
6379.6. Response to complaints.
(a)

Notice.--Upon rendering a decision to investigate a complaint, the

ombudsman shall notify the complainant of the decision to investigate and shall
notify the department, county agency, child placing agency, and other interested
parties of the intention to investigate. If the ombudsman declines to investigate a
complaint or continue an investigation, the ombudsman shall notify the
complainant and the department, county agency, child placing agency and other
interested parties of the decision and of the reasons for the ombudsmans action.
(b) Professional discipline.--If the investigation of a complaint leads the
ombudsman to believe the matter complained of may involve professional
misconduct, the ombudsman shall bring the matter to the attention of the
authorities responsible for professional discipline.

If the complaint refers to

conduct by an attorney, including a guardian ad litem, or a court appointed special

advocate, the ombudsman shall perform a preliminary investigation and transmit
the results of that investigation with the referral.
(c)

Referrals.--In the case of complaints brought to the attention of the

ombudsman but not within the ombudsmans powers under this subsection, the

-230-

ombudsman shall refer the person making the complaint to a person with the
authority or ability to assist that person.
(d) Alternative responses.--The ombudsman may advise a complainant to
pursue all administrative remedies or channels of complaint open to the
complainant before pursuing a complaint with the ombudsman. Subsequent to the
administrative processing of a complaint, the ombudsman may conduct further
investigations of any complaint upon the request of the complainant or upon the
ombudsmans own initiative.
(e)

Criminal violations.--If the ombudsman finds in the course of an

investigation that an individuals action is in violation of state or Federal criminal

law, the ombudsman shall immediately report that fact to the district attorney or
the Attorney General. If the complaint is against a provider of child welfare
services, the ombudsman shall refer the matter to the department for further action
with respect to licensing.
6379.7. Cooperation of agencies and providers.
(a) Investigations.--The department, county agency, administrative agency or
provider of child welfare services shall do all of the following:
(1) Upon the ombudsmans request, grant the ombudsman access to all
relevant information, records and documents in its possession that the
ombudsman considers necessary in the investigation.
(2) Assist the ombudsman in obtaining the necessary releases for those
documents that are specifically restricted.

-231-

(3)

Provide the ombudsman upon request with progress reports

concerning the administrative processing of a complaint.

(b)

Public awareness.--Pursuant to regulations promulgated by the

department, the department, county agency or provider of child welfare services

shall provide information to a biological parent, prospective adoptive parent or
foster parent regarding the provisions of this subchapter.
6379.8. Confidentiality of investigations and records.
(a) Matters.--The ombudsman shall treat all matters under investigation as
confidential, including the identities of recipients, individuals from whom
information is acquired and persons seeking assistance from the ombudsman.
Upon receipt of information that by law is confidential or privileged, the
ombudsman shall maintain the confidentiality of the information and shall not
further disclose or disseminate the information except as provided by applicable
state or Federal law.
(b) Records.--A record of the office of the ombudsman is confidential, shall
be used only for the purposes of this subchapter, and is not subject to court
subpoena. Information contained in those records may not be disclosed in such a
manner as to identify individuals, except for good cause shown on order of a
court.

The ombudsman or other agency may not disclose a record of the

ombudsman or a record received from the ombudsman under the act of June 21,
1957 (P.L.390, No.212), referred to as the Right-to-Know Law, except for good
cause shown on order of a court. No person may disclose any record under this
subsection without the consent of the complainant.

-232-

 6379.9. Findings and recommendations.

(a) Report of findings.--The ombudsman shall make a report of the findings
of an investigation and make recommendations to the department, the county
agency, the provider of child welfare services and other appropriate entities if the
ombudsman finds any of the following:
(1) A matter should be further considered by the department, the county
agency or provider of child welfare services.
(2) An administrative act should be modified or canceled.
(3) Reasons should be given for an administrative act.
(4) Other action should be taken by the department, the county agency or
provider of child welfare services.
(b) Subjects of report.--Before announcing a conclusion or recommendation
that expressly or by implication criticizes an individual, the department, the
county agency or a provider of child welfare services, the ombudsman shall
provide the subject of the report with reasonable advance notice and an
opportunity to respond. When publishing an opinion adverse to the department,
county agency or provider, the ombudsman shall include in the publication any
statement of reasonable length made to the ombudsman by the subject of the
report in defense or mitigation of the action. The ombudsman may request to be
notified by the subject of the report within a specified time of any action taken on
any recommendation presented.
(c) Notice to complainant.--The ombudsman shall notify the complainant of
the actions taken by the ombudsman and by the department, county agency or

-233-

provider of child welfare services. The ombudsman shall provide the complainant
with a copy of its recommendations regarding the complaint.
(d)

Annual report.--The ombudsman shall submit to the Governor, the

General Assembly, the administrative office of the Supreme Court and the
department an annual report on the conduct of the ombudsman, including any
recommendations regarding the need for legislation or for change in rules or
policies.
6379.10. Protection from retaliation.
(a)

General rule.--An official, the department, the county agency or a

provider of child welfare services may not penalize any person for filing a
complaint in good faith or cooperating with the ombudsman in investigating a
complaint.
(b)

Obstruction.--An individual, the department, the county agency or a

provider of child welfare services may not hinder the lawful actions of the
ombudsman or employees of the ombudsman.
6379.11. Non-exclusivity of remedy.
The authority granted the ombudsman under this subchapter is in addition to
the authority granted under the provisions of:
(1) any other statute or rule under which the remedy or right of appeal or
objection is provided for a person; or
(2) any procedure provided for the inquiry into or investigation of any
matter.

-234-

(3) The authority granted the ombudsman does not limit or affect the
remedy or right of appeal or objection and is not an exclusive remedy or
procedure.

CONFORMING AMENDMENTS TO 23 Pa.C.S.

6303. Definitions.
(a) General rule.--The following words and phrases when used in this chapter
shall have the meanings given to them in this section unless the context clearly
indicates otherwise:
* * *
Ombudsman. The childrens ombudsman established by section 6379.3
(relating to childrens ombudsman).
* * *
6340. Release of information in confidential reports.
(a)

General rule.--Reports specified in section 6339 (relating to

confidentiality of reports) shall only be made available to:

* * *
(16)

the ombudsman.

* * *

-235-

Proposed New Subchapter in 23 Pa.C.S. Chapter 63

SUBCHAPTER D.2
PREVENTION SERVICES FOR CHILDREN AND FAMILIES
Sec.
6380.1.
6380.2.
6380.3.
6380.4.
6380.5.
6380.6.
6380.7.
6380.8.
6380.9.
6380.10.
6380.11.

Short title of subchapter.

Legislative findings and purpose.
Definitions.
Office of prevention services.
Director of office of prevention services.
Prevention services board.
Prevention services coordinators.
Cooperation.
Block grants.
Request for proposal process.
Annual report.

6380.1. Short title of subchapter.

This subchapter shall be known and may be cited as the Prevention Services
for Children and Families Act.
6380.2. Legislative findings and purpose.
(a) Findings.--The General Assembly finds the following:
(1) The Commonwealth should develop a coordinated strategy to reduce
the number of child placements, preserve the family unit and foster
reunification where appropriate and consistent with the childs health and
safety and improve permanency planning for children and families.
(2) The Commonwealth and local communities should strengthen efforts
to prevent child abuse and neglect and concentrate on critical problem areas
that lead to the placement of children within the children and youth services
delivery system, including, but not limited to, poverty, ineffectual parenting,

-236-

lack of child supervision (particularly during after-school hours), drug and

alcohol abuse, domestic violence, unmet housing needs, truancy, juvenile
delinquency and indicators generally associated with child well-being, such as
the following:
(i) The percentage of low birth-weight babies.
(ii) The infant mortality rate.
(iii) The child death rate.
(iv) The rate of teen deaths by accident, homicide and suicide.
(v) The teen birth rate.
(vi) The percentage of teens who are high school dropouts.
(vii) The percentage of teens not attending school and not working.
(viii) The percentage of children living in families where no parent
has full-time, year-round employment.
(ix) The percentage of children living in poverty.
(x) The percentage of families with children headed by a single
parent.
(3)

Out-of-home placements represent a growing expense for the

Commonwealth and may often be unnecessary if reasonable steps are taken to

help families before their problems become critical and merit intervention by
the children and youth services delivery system.
(4) The mandate of the Federal Adoption and Safe Families Act to make
timely permanency decisions for children in placement can make it difficult
for some families ever to be reunified once they are separated.

-237-

(5) Unfortunately, out-of-home placements do not always serve childrens

long-term interests, and a large number of children formerly in foster care are
later convicted of criminal offenses and incarcerated.
(6) Too often, prevention services are given inadequate attention because
they are not the primary responsibility of any existing Commonwealth agency.
(7) To improve prevention services, it is essential to further develop
research into the efforts that best succeed, so that successful efforts may be
replicated and expanded.
(8) An entity charged specifically with coordinating programs, services
and funding to prevent child placements will foster innovative prevention
efforts and be better equipped to develop cross-systems approaches to deliver
services to children and families.
(9) Given the long-term effectiveness of prevention services and the need
for a specific commitment of financial resources for prevention services,
increased program development and coordination is necessary to ensure that a
minimum of five percent of the budgets of all Commonwealth agencies
serving children and families is devoted to prevention services.
(10) County agencies and local communities should prepare a prevention
services plan to develop, coordinate and oversee prevention services within
their respective counties and local communities.
(b) Purpose.--It is the purpose of this subchapter to encourage prevention
services through the creation of an office of prevention services which will
develop, coordinate and oversee efforts to prevent child abuse and neglect,

-238-

juvenile delinquency, juvenile dependency, school dropouts, truancy, violence

and the need for out-of-home placements.
6380.3. Definitions.
The following words and phrases when used in this subchapter shall have the
meanings given to them in this section unless the context clearly indicates
otherwise:
Agency. A public or private entity, including a county agency, which
provides child-care services.
Note: Child-care services is defined in 23 Pa.C.S. 6303 (and
applicable to the entire chapter) as follows: Child day-care
centers, group and family day-care homes, foster homes, adoptive
parents, boarding homes for children, juvenile detention center
services or programs for delinquent or dependent children; mental
health, mental retardation, early intervention and drug and
alcohol services for children; and other child-care services which
are provided by or subject to approval, licensure, registration or
certification by the Department of Public Welfare or a county
social services agency or which are provided pursuant to a
contract with these departments or a county social services agency.
The term does not include such services or programs which may
be offered by public or private schools, intermediate units or area
vocational-technical schools.
Note: County agency is defined in 23 Pa.C.S. 6303 (and
applicable to the entire chapter) as follows: The county children
and youth social service agency established pursuant to section 405
of the act of June 24, 1937 (P.L.2017, No.396), known as the
County Institution District Law, or its successor, and supervised
by the Department of Public Welfare under Article IX of the act of
June 13, 1967 (P.L.31, No.21), known as the Public Welfare Code.
Board. The prevention services board set forth in section 6380.6 (relating to
prevention services board).
Commonwealth agency.

Any executive branch department, board,

commission, authority, office or agency of the government of this

-239-

Commonwealth, whether or not subject to the policy supervision of the Governor,

which serves children and families.
Coordinator. A prevention services coordinator set forth in section 6380.7
(relating to prevention services coordinator).
Cross-systems approach. An effort to provide services to children and
families through services or programs under the jurisdiction of more than one
Commonwealth agency.
Director. The director of the office of prevention services created under
section 6380.5 (relating to director of office of prevention services).
Prevention service. Any service for children and their families which is
primarily designed to prevent child abuse and neglect, juvenile delinquency,
juvenile dependency, school dropouts, truancy, violence and the need for out-ofhome placements.
6380.4. Office of prevention services.
There is hereby created an office of prevention services.
6380.5. Director of office of prevention services.
(a) Appointment.--The Governor shall appoint a director of the office of
prevention services, with the advice and consent of the Senate, who shall serve at
the pleasure of the Governor.
(b) Powers and duties.--The director shall have the following powers and
duties:
(1) To develop, coordinate and oversee existing prevention services in the
Commonwealth.

-240-

(2)

To determine the effectiveness and cost-effectiveness of existing

prevention services.
(3) To identify best practices in prevention services, with attention to
services provided by research-based programs.
(4) To develop new and effective prevention services.
(5) To identify how existing prevention services may continue.
(6) To develop improved prevention services for specific populations
underserved by existing prevention programs, including, but not limited to,
incarcerated parents and their children, medically fragile children, chemicallydependent parents and children, parents and children with mental illness or
mental retardation, teenagers and teenage parents.
(7)

To identify potential sources of funding for new and existing

prevention services, including sources not presently utilized.

(8) To determine whether a minimum of five percent of the budget of
each Commonwealth agency is devoted to prevention services and, if not, to
suggest ways in which it can be done.
Comment: This paragraph is not intended to mandate each
Commonwealth agency to segregate 5% of its budget for
prevention services. Instead, it is merely a benchmark to
demonstrate the importance of prevention services.
(9)

To plan and coordinate cross-systems approaches to prevention

services.
(10)

To provide technical assistance to Commonwealth agencies and

agencies within the counties and local communities to develop prevention

services.

-241-

(11) To assist county agencies and local communities in preparing a

prevention services plan to develop, coordinate and oversee prevention
services within their respective counties and local communities.
(12) To assess demographic and other data in order to assist
Commonwealth agencies and agencies within the counties and local
communities in identifying areas of high need regarding prevention services.
(13)

To share information regarding prevention services with

coordinators, Commonwealth agencies and agencies within the counties and

local communities.
(14)

To accept funds for prevention services from various sources

identified and pursued.

(15) To distribute block grants to counties as set forth in section 6380.9
(relating to block grants).
(16) To oversee the request for proposal process as set forth in section
6380.10 (relating to request for proposal process).
(17) To provide technical assistance and information to counties and
agencies regarding block grants and the request for proposal process, to the
extent practical as determined by the director.
(18) To provide technical assistance to county agencies regarding the
development of a needs-based assessment, to the extent practical as
determined by the director.
(19) To convene regular meetings of the board.
(20) To take such other actions as the director deems necessary for the

-242-

effective administration of the office of prevention services.

(c) Administration of office.--The director shall have an adequate budget,
staff and office for the effective administration of the office of prevention
services.
6380.6. Prevention services board.
(a) Composition.--The director shall be assisted by a prevention services
board consisting of the following individuals:
(1) The Secretary of the Department of Public Welfare, or a designee of
the Secretary.
(2) The Secretary of the Department of Health, or a designee of the
Secretary.
(3) The Secretary of the Department of Education, or a designee of the
Secretary.
(4) The Secretary of the Department of Labor and Industry, or a designee
of the Secretary.
(5)

The Secretary of the Department of Community and Economic

Development, or a designee of the Secretary.

(6) The Insurance Commissioner, or a designee of the Commissioner.
(7) Chair of the Pennsylvania Commission on Crime and Delinquency, or
a designee of the Chair.
(8)

Any other individual that the director deems necessary for the

effective administration of the office of prevention services.

-243-

(b)

Expenses.--The members of the board are not entitled to additional

compensation for their service as members but shall be entitled to reimbursement

for all necessary expenses incurred in connection with the performance of their
duties as members.
6380.7. Prevention services coordinators.
(a)

Designation.--Each county shall designate a prevention services

coordinator who shall be identified to the director.

(b) Powers and duties.--Each coordinator shall have the following powers and
duties:
(1) To develop, coordinate and oversee existing prevention services of
agencies within the coordinators county and local communities.
(2) To determine the effectiveness and cost-effectiveness of existing local
prevention services.
(3) To tailor the best practice standards for prevention services to meet
the needs of the coordinators county and local communities.
(4) To develop new and effective local prevention services.
(5) To identify how existing local prevention services may continue.
(6) To develop improved local prevention services for specific populations
underserved by existing prevention programs, including, but not limited to,
incarcerated parents and their children, medically fragile children, chemicallydependent parents and children, parents and children with mental illness or
mental retardation, teenagers and teenage parents.
(7) To identify potential sources of funding for new and existing local

-244-

prevention services, including sources not presently utilized.

(8) To determine whether a minimum of five percent of the budget of
each local governmental agency serving children and families is devoted to
prevention services and, if not, to suggest ways in which it can be done.
(9) To plan and coordinate cross-systems approaches to local prevention
services.
(10) To prepare a prevention services plan to develop, coordinate and
oversee prevention services within the coordinators county and local
communities.
(11) To assess county and local demographic and other data in order to
assist local agencies in identifying areas of high need regarding prevention
services.
(12)

To share information with the coordinators county and local

communities, local agencies, the director and the board regarding local
prevention services and needs.
(13)

To accept funds for prevention services from various sources

identified and pursued.

(14) To take such other actions as the coordinator deems necessary to
carry out the coordinators duties.
(c) Information.--A coordinator shall provide necessary information to the
director for the purposes of preparing the annual report under section 6180.11
(relating to annual report).

-245-

 6380.8. Cooperation.
(a) Coordinators.--Each coordinator shall cooperate with the director and
board to the fullest extent possible.
(b) Commonwealth agencies.--Commonwealth agencies shall cooperate with
and provide assistance to the director and board without financial reimbursement.
(c) Agencies.--All agencies within the counties and local communities shall
cooperate with the director, the board and their respective coordinator to the
fullest extent possible in providing information.
6380.9. Block grants.
(a) Source.--Block grant funds shall be derived from sources identified and
pursued by the director and from funds appropriated by the General Assembly
from time to time.
Comment: It is intended that funding sources include
untapped and under-tapped federal monies and any funds
from private foundations.
(b) Distribution.--The director shall distribute block grants for prevention
services to each county as provided in this section.
(c) Amount.--The amount of each countys block grant shall be based on the
population of the county and county demographic information deemed relevant by
the director, which may include the following:
(1) The county poverty rate and local incidence of homelessness.
(2) The incidence of high-risk behaviors for children and families in the
county.

-246-

(3) The availability of existing prevention services in the county and the
need for additional prevention services in the county.
(4) The number of children served by the county agency.
(5) Indicators generally associated with child well-being in the county,
including the following:
(i) The percentage of low birth-weight babies
(ii) The infant mortality rate.
(iii) The child death rate.
(iv) The rate of teen deaths by accident, homicide and suicide.
(v) The teen birth rate.
(vi) The percentage of teens who are high school dropouts.
(vii) The percentage of teens not attending school and not working.
(viii) The percentage of children living in families where no parent
has full-time, year-round employment.
(ix) The percentage of children living in poverty.
(x)

The percentage of families with children headed by a single

parent.
(d) Adjustment.--The director may adjust the amount of block grant funds
distributed to a county based on the following:
(1) The availability of funds.
(2) A change in the demographic factors of a county.
(3) The overall effectiveness and cost effectiveness of prevention services
in a county.

-247-

(4) Any other factor that the director deems reasonable and necessary.
(e) County needs assessment.--The director shall determine what percentage
of a countys block grant may be used for the county to assess its needs in
developing and implementing prevention services.
6380.10. Request for proposal process.
(a) County disbursement.--A county shall disburse the block grant funds that
it has received under section 6380.9 (relating to block grants) through a request
for proposal process as provided in this section. A county shall discharge its
duties impartially so as to assure fair competitive access to block grant funds for
prevention services by responsible agencies that conduct themselves in a manner
that fosters public confidence in the integrity of the disbursement process.
(b) Application.--Any agency or other entity that provides prevention services
may submit a proposal to the county for block grant funds to develop and
implement prevention services.
Comment: It is intended that private agencies, public agencies
and public/private partnerships could apply for funds through
the request for proposal process. In addition, if the county
itself has developed prevention services, the county may fund
such services with block grant money. Although a county
controls the distribution of its block grant funds and may at
times be in competition for block grant funds with, for
example, private service providers, the county will still be
accountable for its decision to fund its own prevention services
since tax dollars are involved and the county will want to fund
the most effective, cost-efficient program available so as not to
jeopardize future block grant funds.
(c)

Characteristics of prevention services.--Prevention services that are

considered through the request for proposal process shall, to the fullest extent

-248-

possible, be evidence-based, replicable and innovative, consistently achieve

positive outcomes and yield results that are consistent with the program design.
Comment: It is intended that an agency or other entity will be
given broad discretion to develop and implement prevention
services, with maximum flexibility to achieve outcome-based
standards and without strict procedural mandates.
(d) Administrative costs.--A request for proposal may contain a request for
administrative costs that reflect the anticipated operating expenses associated with
the development and implementation of prevention services.
Comment: There is no cap to the percentage designated for
administrative costs. A county would need to determine what
is reasonable on a case-by-case basis. The provision for
administrative costs is intended to be flexible, but should not
encourage duplicative or wasteful practices.
(e) General standards of ethical conduct.--Any attempt on the part of an agent
of the county to realize personal gain through the disbursement process or engage
in conduct inconsistent with the proper discharge of the agents duties is a breach
of the public trust. An agent must avoid any conflict of interest or improper use
of information regarding the disbursement or request for proposal process. If any
person has reason to believe that any breach of standards has occurred, that person
shall report all relevant facts to the State Ethics Commission and the Attorney
General for any appropriate action.
6380.11. Annual report.
The director shall submit to the Governor and the General Assembly an
annual report on the office of prevention services. Such report shall include:
(1) A review of the prevention services undertaken by Commonwealth
agencies in the preceding year, including a statement of the amount of funds

-249-

expended for such services and the number of children served.

(2) An evaluation of the effectiveness of prevention services by agencies
and recommendations regarding the future provision of similar or additional
prevention services.
(3)

An evaluation of the need for prevention services in the

Commonwealth, including an assessment of such need at the county and local

community level.
(4) A review of the distribution of block grants to the counties.
(5) A review of the county disbursement of block grant funds through the
request for proposal process.
(6) The identification of current and possible future funding sources for
prevention services.
(7) Recommendations for legislation or changes in rules or policies, if
any.
(8) Any other information which the director deems appropriate.
TRANSITIONAL LANGUAGE: This act shall take effect in six months.

-250-